Our Staff has compiled our research into a database of FINRA Broker Disclosures for RBC Capital Markets, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Brian Christian Dent | 2869608 | 2 | 12/09/2010 | Customer Dispute | Denied | $35,301.60 | $0.00 | See FINRA Report |
| Edward James Murphy | 1345333 | 1 | 09/22/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter Allan Roe | 1127573 | 2 | 07/06/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Eugene Bohlman | 1899835 | 1 | 06/14/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Terrence Joseph Hornsby | 1001723 | 1 | 05/27/2010 | Customer Dispute | Denied | $75,775.00 | $0.00 | See FINRA Report |
| Robert Stuart Fillingham | 716111 | 1 | 03/22/2010 | Customer Dispute | Denied | $26,193.40 | $0.00 | See FINRA Report |
| Martin Joseph Hare | 2194612 | 3 | 01/15/2010 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Lisa M Knutson | 1584272 | 1 | 01/06/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Paul M Mosqueda | 1549815 | 1 | 12/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jaime M Sahlstrom | 4722007 | 2 | 11/30/2009 | Customer Dispute | Denied | $9,180.00 | $0.00 | See FINRA Report |